OUR TEAM
Brent Williams
Chief Executive Officer
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Brent has spent his entire post-military career working and studying in the investment industry. He began his career as an Investment Advisor with one of the largest firms in the John Hancock Financial Network.
After transitioning his career to futures trading, trading S&P mini futures contracts at the Chicago Board of Trade, Brent rose to trade manager for both the automated and discretionary desk and transitioned to a broker.
Brent is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 7, 24, 63, and 79.
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E: brent.williams@regimentsecurities.com
P: +1 (252) 573-1346
Steve Burnham
Co-Founder
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Steve Burnham is the Co-Founder of Regiment Securities, currently serving as its Managing Member. He brings a wealth of experience from various leadership roles in the financial industry.
Previously, he led Edelweiss Financial Services in New York as Managing Director and held a significant role as Senior Vice President at Marco Polo Network. Steve's global experience includes a decade at Bender Securities in Istanbul. He is a Dartmouth College alumnus with a degree in History and Economics.
Steve is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 3, 7, 24, 55, 63, 66, and 79.
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E: steve.burnham@regimentsecurities.com
P: +1 (617) 899-0304
Mike Cavanaugh
Co-Founder
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Mike Cavanaugh is the Co-Founder of Regiment Securities. He began his finance career on the CBOT floor, immersing himself in the fast-paced world of trading wheat and bonds.
Previously, Michael served as a Principal at RCM Wealth Advisors and as Chief Revenue Officer at Neurensic. He graduated from the University of Wisconsin-Madison with a Bachelor of Arts in Political Science.
Mike is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 4, 7, 63, and 65.
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P: +1 (773) 480-7561
Bill Duffy
Director
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Bill Duffy serves as the Chief Financial Officer of Regiment Securities. Additionally, Bill is the Co-Founder of Regiment, LLC
He has expertise in the algorithmic trading industry, with vast personal and professional networks within the space and close relationships with venture capital funds and high net worth individuals interested in alternative investments.
Bill is a registered representative with Regiment Securities, LLC and holds a FINRA Series 7, 24, and 63.
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Manuj Sharma
Director
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With over 20 years of financial services experience, Manuj is currently a Director at Regiment Securities advising clients on strategic planning for both equity and credit transactions. Previously, Manuj consulted non-profits on governance and financial frameworks. He founded a couple of risk management related advisory and technology firms, was a former Risk Manager of a $3B hedge fund & private equity platform and Associate within the retail division of a large investment bank. He currently also sits on a couple start-up companies advisory boards.
Manuj is a registered representative with Regiment Securities LLC and holds the FINRA licenses Series 82 and 63
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Patrick Smith
Director
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Pat Smith is a director at Regiment Securities and has over 20 years of experience in the capital markets, specializing in alternative investments, private markets, and digital assets. His expertise includes venture capital, blockchain technology, real estate, hedge funds, and equity derivatives. Patrick has been instrumental in bringing alternative issuers to market, particularly in fintech and cryptocurrencies.
Currently a Director at Regiment Securities in Chicago, he oversees operations and manages key relationships in the investment community. Previously, he served as Managing Partner at Ahoya Fund, focusing on multi-strategy equity derivatives. Patrick holds a Bachelor of Science in Finance from Marquette University.
Patrick is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 7 and 63.
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E: psmith@regimentsecurities.com
P: +1 (773) 401-4440
Lou Vitullo
Director
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Lou advises HNW individuals and family offices on capital and governance planning and specializes in arranging equity capital or commercial financing to support the strategic initiatives of clientele. Lou has a background in commercial finance, asset-based lending, special asset situations, strategic planning and risk management. This combination of skillsets allows Lou to serve clientele from wing-to-wing starting with the planning and ending with the execution of a client’s objective.
Lou earned an MBA with a focus on organizational strategy from John Carroll University, is credit trained and is CPA eligible.
Lou is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 7 and 63.
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Andrew Workheiser
Vice President
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Andrew Workheiser is a Vice President in the Investment Banking group at Regiment Securities. Andrew represents clients on wide variety of assignments including capital markets advisory, strategic advisory, and other corporate initiatives.
Andrew is based in Regiment’s Chicago office and graduated from the University of Illinois-Chicago with a B.S. in Finance.
Andrew is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 7 and 63.
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P: +1 (309) 339-2161
Mechack Kainda
Vice President
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Mechack is a a Buy-Side Investment Associate at Regiment Securities and Partner at Regiment, where he works closely with finance and investments. His expertise lies in identifying and analyzing alternative investment opportunities, staying at the forefront of market trends, and navigating the intricacies of M&A. Backed by a solid foundation in due diligence and deal sourcing, he crafts effective financing tools across Asset Management, Private Equity & Credit, and Venture Capital.
Mechack is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 7 and 63.
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Peter apostol
Registered Representative
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Coming soon!
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E: peter.apostol@regimentsecurities.com
joe Dempsey
Registered Representative
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Coming soon!
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David desmond
Registered Representative
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Dave focuses on opportunities in need of funding, both equity and debt, while working with companies to develop their detailed strategy and planning. Dave has held executive level positions in the finance industry, strategy & planning, as well as tech and consulting. In his prior role at Dave focuses on opportunities in need of funding, both equity and debt, while working with companies to develop their detailed strategy and planning. Dave has held executive level positions in the finance industry, strategy & planning, as well as tech and consulting. In his prior role at Peritus Asset Management, as their COO/CCO and Co-head of Sales, he was responsible for raising over $1.1B in AUM for their actively managed ETF, HYLD as well as overseeing their hedge fund. Dave is also the CFO for Validus Cellular Therapeutics, Inc and is the Founder and Co-owner of Adaptive Advisors, Inc.
Dave is a highly accomplished, goal-oriented leader with proven success, hands-on experience setting strategic direction, developing and aligning teams, managing operations, and successfully executing goals and objectives. He has a unique ability to bring order from chaos, streamline operations, envision new concepts and future trends, and effectively communicate direction. He is a successful leader and team builder who fosters a synergistic, team atmosphere to achieve exemplary performance.
Dave is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 7 and 63.
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E: david.desmond@regimentsecurities.com
P: +1 (720) 708-7075
bill ferretti
Registered Representative
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Coming soon!
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sina foroohar
Registered Representative
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Coming soon!
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dan gilman
Registered Representative
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Dan Gilman is a registered representative with Regiment Securities and and is the co-founder and CEO of TriPeak. Dan is a seasoned finance and investment leader with a track record of excellence across buy-side, sell-side, and operational disciplines. His expertise extends to the strategic launch and management of both private equity and hedge fund entities, showcasing his skill in capital raising and fund operations.
With a deep background in investment banking, Dan has steered multiple M&A transactions with equity values up to $500 million, and has a proven track record working with early-stage equity, corporate debt, and real estate financing. His advisory proficiency encompasses a spectrum of financial instruments, including private equity, tax-exempt debt, mezzanine financing, and innovative funding structures like QOZ funds and EB-5 capital.
Dan's real estate experience is comprehensive, focusing on public assets and public-private partnerships, with a deep understanding of various tax credits and financing methodologies. In the corporate sphere, he has driven significant initiatives in financial services, including acquisitions in the financial services and FinTech sectors, as well as in the health tech space, contributing to the growth of early-stage pharmaceuticals and medical technologies.
His strategic insights into real estate investments are broad, encompassing multifamily housing, industrial, retail, and healthcare facilities, alongside specialized segments like hospitality, tribal gaming, data centers, and renewable energy infrastructure. Dan's leadership at TriPeak embodies a fusion of financial acumen and operational savvy, steadily building the firm's reputation for technical innovation and success in complex market landscapes.
Dan is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 3, 7, 52, 57, 63, 79, and 99.
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Sam Gold
Registered Representative
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Coming soon!
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Luke griffin
Registered Representative
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Coming soon!
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Dave Lancaster
Registered Representative
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David has more than 30 years experience as an investor, portfolio manager, private banker and family office head. Prior to forming his own firm, Tile Capital, Mr. Lancaster was a Managing Director and led the US West Coast Family Office Practice for Boston Private, a private bank subsidiary of Silicon Valley Bank, focused on closely held family businesses, commercial real estate and family offices. Previously, Mr. Lancaster was President and Chief Investment Officer of a real estate related single family office in San Francisco, and a Director at Carmel Partners, a multi-billion dollar private equity real estate firm. Before that, Mr. Lancaster specialized in providing banking and advanced planning to real estate families as part of the Global Family Office group at UBS and as a Senior Private Banker at J.P. Morgan.
Mr. Lancaster has served as the senior investment advisor for a number of large family offices and was a portfolio manager specializing in quantitative global asset allocation and risk management for Millennium Partners, an institutional fund manager based in New York. He graduated from Vanderbilt University with honors where he earned a B.A. in Economics.
David is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 7, 63, and 65.
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Marshall Lindsey
Registered Representative
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Marshall Lindsey is an engineer and financial professional with industry experience in energy, consulting and finance. Before joining Regiment Securities, Marshall was a Vice President at the merchant bank Unplugged Capital. He previously led a management consulting practice, East 84th Consulting, which provided business process analysis, operations strategy, and technical business development services to education, chemical, finance, and waste management industries. Marshall served as the Vice President of Strategy and Research at Blue Northern Capital Holding and as an analyst and consultant at BP.
Marshall holds a BS in Chemical Engineering from Case Western University, an MBA from Carnegie Mellon University, an MS in Chemical Engineering from Carnegie Mellon, and a PhD in Chemical and Biological Engineering from Northwestern University.
Marshall is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 63 and 79.
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Bill Mitchell
Registered Representative
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For 30+ years, Bill has focused on capital raises for bespoke specialty finance/commercial real estate platforms; distressed and non-performing loan acquisitions/dispositions; and unique or time-sensitive, debt and equity real estate financings.
Overall, Bill has managed, as both agent and principal, in excess of $6B of such transactions.
Bill is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 7, 62, and 63
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David Paniry
Registered Representative
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Coming soon!
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Andrew Ross
Registered Representative
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Andrew Ross is an experienced financial and governmental executive with more than 30 years of experience spanning both the public and private sector.
Andrew spent more than four years working for former Illinois Governor Pat Quinn, including as his Chief Operating Officer. He was responsible for driving the State of Illinois’ economic development agenda, including overseeing a $31 billion capital program, which was the state’s largest infrastructure program for the world’s nineteenth largest economy, while also serving as the Governor’s senior energy advisor and crafting Illinois’ renewable energy policies.
Andrew earned his BA from Northwestern University and has a master’s degree from Syracuse University in Broadcast Journalism.
Andrew is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 52, 53, 63 and 79.
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E: andrew.ross@regimentsecurities.com
Suzanne Sarka
Registered Representative
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Suzanne Sarka is a prominent figure in impact investing and finance, serving as the Founder and Managing Partner at PALIO Impact Capital. Under her leadership since October 2018, the organization focuses on innovative finance in areas like Health, Housing, Education/Arts, Sustainability, and Social Justice. She also founded and currently presides over the PALIO Impact Funding Accelerator. Additionally, Suzanne is a Managing Director at Regiment Securities, where she contributes her extensive expertise in social change finance.
Her educational foundation includes a BA in International Relations with a secondary focus on Economics from Stanford University, where she was actively involved in activities like Counterpoint and the Sailing Team.
Suzanne is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 3, 7, 52, 63, 66, and 99.
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Sandy sloane
Registered Representative
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Sandy Sloane is an accomplished executive in the financial sector, serving as the Managing Director at Regiment Securities in Chicago. With a broad expertise across financial services including investment banking, asset management, and FinTech, he has a proven track record in relationship management, business development, and product innovation.
Before joining Regiment Securities, Sandy was the Business Development Director at RSM US LLP, focusing on financial institutions in the Great Lakes Region. He also served as Head of Institutional Relationships at Grail Partners LLC. Sandy holds an MBA in Finance from Yale School of Management and a BA in Economics from the University of California, Berkeley.
Sandy is a registered representative with Regiment Securities, LLC and holds the FINRA licenses Series 7, 9, 10, 24, 63, and 99.
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Owen walken
Registered Representative
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Coming soon!
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Len Pacek
Chief Process & Information Officer
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Len Pacek is the Chief Process and Information Officer at Regiment Securities, where he oversees business process and technology strategy. Based in Tennessee, Len also contributes as the author of LensLinks, providing insights into web3, gaming, metaverse, blockchain, and related sectors.
His previous roles include Director of Strategic Projects at RCM Alternatives and an extensive tenure at Health Care Service Corporation, where he played a pivotal role in legislative and regulatory implementation.
Len's pursuit of knowledge took him to DePaul and Northeastern Illinois Universities among other institutions.
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Bennett Dixon
Marketing Consultant
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Bennett is responsible for the Regiment Securities brand—its architecture, its strategy and ultimately, its competitive advantage in the marketplace.
Across more than twenty years of brand marketing experience, Bennett has served in a wide range of roles. On the corporate side, Bennett served as Director of Brand, Creative & Content for W.W. Grainger, as Director of Advertising & Brand Strategy for Charles Schwab, and as Content Development Manager for Miller Brewing. And on the agency side, he’s served as Senior Vice President, Account Director for Leo Burnett, and in a variety of creative functions for other agencies such as FCB Chicago, Resource/Ammirati and his own practice, Lodestone Brand Consulting.
Bennett has a BA from Duke University and an MBA from Georgetown University. He lives in Chicago with his wife, two sons and golden retriever.
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Lynette Marotta
Associate
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Coming soon!
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Kishan Jayswal
Intern
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Coming soon!
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